SFC Licences of KWOK Yat Sing 郭日昇
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RO | 4 | 31 December 2018 | |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 4 | 31 August 2016 | 31 December 2018 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 4 | 22 October 2010 | 06 August 2016 |
| China Tonghai (IA) Limited 中国通海投资顾问有限公司 | RE | 4 | 03 October 2008 | 18 September 2010 |